Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Stephenson (Stephenson), previously associated with the Leaders Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Stephenson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 23, 2020.
The complainant alleges that the variable annuity that was sold to her in 2020 wasn’t suitable for her needs, and, that she wasn’t advised about the penalties associated with the product.